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California Department of Transportation

Information Technology Division

Agency Information Management Strategy

Will KemptonDirector

Ann BarsottiDeputy Director

Administration and InformationTechnology

August 2007

Table of Contents

Introduction..................................................................................................................................... 3

1. Department Business Strategy...............................................................................................31.1 Business Strategy................................................................................................................31.2 Information Technology Strategies.......................................................................................41.3 Alignment of IT Strategy with Business Strategy..................................................................91.4 IT Executive Steering Committee.........................................................................................91.5 Electronic Government (EGOV) Strategy.............................................................................91.6 Inter-Agency sharing of IT Projects and Resources...........................................................101.7 Description of Service Level Agreements...........................................................................101.8 IT Accessibility Standards...................................................................................................11

2. Changes in Mission and Programs......................................................................................112.1 Anticipated Changes in the Department’s Mission Requiring changes in IT.......................112.2 Emerging Threats and Opportunities..................................................................................12

3. Activities to Reengineer Agency Business Processes......................................................133.1 Current Activities................................................................................................................133.2 Areas for Future Re-engineering........................................................................................14

4. Current Information Technology Infrastructure..................................................................154.1 IT Organization Structure...................................................................................................154.2 IT Employee Experience and Skills Assessment...............................................................22

4.3 Technical Description of Current IT Infrastructure.............................................................224.4 Strengths and Weaknesses of Current IT Infrastructure....................................................274.5 How IT Infrastructure Supports the Department’s Business Requirements.......................274.6 Description of Mission Critical Applications from the Department’s Operational Recovery Plan (ORP)............................................................................................................................... 294.7 Description and Plans for Security.....................................................................................294.8 Description of IT Standards Utilized..................................................................................304.9 IT Asset Management Program.........................................................................................354.10 Adherence to the Software Management Policy (SMP)...................................................364.11 Plans for Intra-agency Sharing of IT Projects/Resources................................................364.12 Server Consolidation Strategy.........................................................................................37

5. New Information Technologies.............................................................................................375.1 Potential of New/Emerging IT to Enable Business Strategies...........................................375.2 Goals/Priorities for Acquisition of New IT Capabilities.......................................................37

6. Planned Information Technology Infrastructure.................................................................386.1 IT Infrastructure to Support the Department’s Information Requirements/Business Strategies................................................................................................................................. 386.2 Skills Assessment to Successfully Employ New and Evolving Strategies.........................38

7. Information Management Priorities, Objectives, Resources.............................................387.1 List of Current IT Projects..................................................................................................397.2 List of Proposed IT Projects...............................................................................................417.3 Intended Use of, and Justification for, External Application Service Providers (ASP).......42

California Department of Transportation Agency Information Management Strategy

Information Technology Division August 2007

Introduction

Each state agency must establish an ongoing strategic planning process for information technology (State Administrative Manual [SAM] Chapter 4800). Each agency may determine the format and content of the documentation, providing the result satisfies agency management requirements and is sufficiently detailed to provide the Department of Finance with a clear understanding of the agency’s information management strategy.

The components of this Agency Information Management Strategy (AIMS) come from a variety of processes and documents, including:

IT Governance Project final report dated September 27, 2006, and the affiliated strategic planning processes.

Software Management Plan, updated January 31, 2007.

Operational Recovery Plan, updated October 31, 2005.

Headquarters and District Information Technology Consolidation Projects.

1. Department Business Strategy

1.1 Business Strategy

The California Department of Transportation's (Department) purpose, for over one hundred years of its existence, has been that of steward of the state highway system. The Department’s traditional focus has been, and continues to be, the development, operation, and maintenance of the state and federal highways.

California’s citizens were well served by the Department during the period when highways formed the backbone of the state’s transportation infrastructure. However, in recent years the transportation environment has changed significantly. New programs and emphasis in federal and state legislation and the changing needs of the Department’s constituents have required an expanding role in the area of multi-modal transportation, congestion relief and improving information sharing with other California transportation stakeholders. Given the position of California in both the national and world economies, the effective management of its transportation systems is critical to the state's continued success.

Department Mission

“Caltrans Improves Mobility Across California”

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The Department’s mission has not changed in essentials for over the past one hundred years – the focus has always been providing for movement of people and goods within the state. However, as times have changed, the strategies to meet this goal have likewise changed. Dramatic California population growth and diminishing revenue sources for transportation improvements have outstripped the ability to provide mobility in the traditional method (building new highways). As such, the Department’s current Strategic Goals for achieving mobility focus on improved utilization of the existing infrastructure.

Strategic Goals

SAFETY – Provide the safest transportation system in the nation for users and workers.MOBILITY – Maximize transportation system performance and accessibility.DELIVERY – Efficiently deliver quality transportation projects and services.STEWARDSHIP – Preserve and enhance California’s resources and assets.SERVICE – Promote quality service through an excellent workforce.

Values

The Department operates in the following organizational culture to achieve these goals:

INTEGRITY – We promote trust and accountability through our consistent and honest actions.COMMITMENT – We are dedicated to public service and strive for excellence and customer satisfaction.TEAMWORK – We inspire and motivate one another through effective communication, collaboration, and partnership.INNOVATION – We are empowered to seek creative solutions and take intelligent risks.

From this Departmental philosophy, long-term Information Technology Strategic Plans are developed.

1.2 Information Technology Strategies

Until recent times highway plans were drafted by hand and roads simply consisted of pavement placed on an earthen roadbed. Today, a transportation project is planned using Geographic Information Systems (GIS) and Global Positioning Satellite (GPS) data; designed using Computer Assisted Design and Drafting (CADD) technology; and built with underlying fiber optic infrastructure linking communications between the roadway and Transportation Management Centers (TMCs) to allow control of traffic and provide communications with the traveling public via changeable message signs, highway advisory radio or in-vehicle and handheld devices.

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Future deployment of Intelligent Transportation Systems (ITS) technologies may even allow automated operation of vehicles on some California highways.

Information Technology (IT) for the Department is not just a network of informational databases, it is an array of operational components that create and manage California’s transportation systems. Today, the Department’s responsibilities include finding solutions for worsening traffic congestion; keeping travelers informed about the transportation system, including alternative modes of transportation; developing “context sensitive” solutions to transportation challenges; analyzing and resolving complex land use and environmental issues; and maintaining constructive and collaborative relationships with diverse business partners. In addition, the Department has many complex management and operational responsibilities, ranging from financial management to asset, human resource, workflow, document, and project management. Increasingly, these varied responsibilities require the use of technology solutions and tools, as well as the effective management of data and information.

The guiding philosophy of the Department’s IT Strategic Plan is that Department’s investment in, and use of, technology must be driven by a clear sense of the business results to be achieved, the capabilities of technology itself, and the constraints and opportunities of the business and political environment. The plan encompasses many aspects of technology management, including establishing a foundation for future technology solutions, encouraging and giving priority to Department-wide (enterprise) solutions, developing and enforcing optimal technology standards and policies, enhancing access to applications and information, and continuously improving the quality of technology service delivery.

IT Objective

The purpose of IT at the Department is to provide and maintain the infrastructure and tools for management and employees to effectively utilize information technology in delivering the Department’s mission. In fulfilling that purpose, the IT Strategic Plan target is to embrace technology to optimally manage Caltrans business operations and the state’s transportation system to improve mobility across California.

IT Definition

The Department of Transportation’s Information Technology Division (Caltrans IT) is entrusted with the maintenance and support of the Department’s enterprise information systems and infrastructure including:

Wide-area network (i.e., data circuits, routers) Local-area network (i.e., routers, bridges, hubs) Enterprise services (i.e., Lotus Notes, file and print servers)

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Business applications (i.e., IMMS, Staff Central)

In conjunction with Program partners, Caltrans IT develops enterprise standards for personal computers (PCs), workstations, printers, and the software applications that reside on them, collectively known as the “desktop.” Each Program and District unit is responsible for providing a “desktop” that adheres to the Department’s standards.

IT Governance Principles

Principles are clear statements that ensure IT strategies and goals are in sync with those of the rest of the organization. A robust set of IT principles increases the effectiveness of IT governance and drives increased value of IT.

One Team Foster collaboration and consistency through innovative leadership to unify IT functions and staff in support of the Department’s mission.

Rationale: Encourages teamwork in the delivery of IT services

regardless of physical location, Establishes a single set of benchmarks for professional

and ethical standards to improve the reputation of the IT Division,

Provides for consistent interactions with the Department’s customers, vendors, and partners.

Transparency Make visible and open transactions, decisions, processes, information, and systems.

Rationale: Builds trust by showing the relationship between

resources and workloads, Promotes dialogue and continuous feedback.

Customer-centric

Provide business-driven IT services that meet the unique and diverse needs of clients and customers.

Rationale: Builds the framework for management, staff and

customers to readily access and use information needed to accomplish their professional goals,

Supports a technology-enriched environment that enhances customer services,

Promotes the use of technology to meet the unique and

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diverse needs of Caltrans divisions and districts.

Stewardship Promote accountability and responsibility for IT business processes and outcomes.

Rationale: Promotes more effective and efficient management of IT

operations, increasing responsiveness to Caltrans customers and business partners,

Fosters efficiency through improved communication and coordination with known points of contact,

Facilitates decision-making by maintaining clearly defined authorities.

Integrity Enforce laws, regulations, policies, and IT standards to protect the department and maintain the public trust.

Rationale: Ensures managers and staff are informed and in

compliance with laws and policies, Protects the Department’s resources against un-

authorized access and penalties.

IT Governance Processes

Caltrans IT identified the following seven governance processes necessary to support the implementation of the IT Goals and Strategies:

1. Manage IT Staff2. Accounting and Budget Services3. Human Resources Services4. Office Administration Services5. Manage Contracts6. Purchasing Services7. Certify IT Purchases

These processes are mapped and documented, and support the following goals and strategies.

IT Goals

1) Maximize the Security of Dataa. Secure all data needed for the Department’s operations and

management.b. Secure information provided to the user.

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2) Develop Enterprise Solutionsa. Assure that solutions address enterprise needs.b. Assure investments result in connectivity and integration.

3) Optimize Customer Accessa. Create a seamless network that facilitates internal and external

communications.b. Increase availability of limited-access technology throughout the

Department.c. Increase usability of Internet information.

4) Provide “Best Value” IT Services and Productsa. Assure continuous improvements of services and products.b. Develop solutions that improve operations and/or reduce staff effort.c. Eliminate low-value services and products.

IT Strategies

The IT Strategic Plan built five major strategies from the IT Goals.

Strategy 1: Establish a foundation for technology solutions based on enterprise business processes, data needs, and data standards.

Model Department’s core business processes and data. Develop standards and policies for data use and management. Make existing data more useful and available.

Strategy 2: Invest in technology solutions that meet shared business needs and are as integrated as possible.

Adopt a methodology for implementing enterprise solutions. Coordinate technology solutions to meet shared business needs.

Strategy 3: Establish a uniform framework for setting technology standards and processes.

Adopt a comprehensive methodology for setting technology standards. Adopt comprehensive risk mitigation standards, policies, and

processes. Improve the timeliness of the technology project approval process.

Strategy 4: Provide enhanced access to the Department’s information technology resources.

Plan for network capacity enhancements to support future needs. Enhance remote access for districts and field staff. Implement a transportation information portal.

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Strategy 5: Ensure continuous improvement in IT service delivery. Create a dedicated customer service liaison function. Promote the use of project management principles and methodologies. Maintain the technology workforce. Reengineer the IT planning and budgeting process. Reengineer the IT Help Desk/user support operations. Improve the internal technology procurement process.

1.3 Alignment of IT Strategy with Business Strategy

The Caltrans IT Goals specifically support, as well as overall support, all five of the Departmental Goals:

Mission M O B I L I T Y

Dep

artm

ent

Goa

ls

Saf

ety

Mob

ility

Del

iver

y

Ste

war

dshi

p

Ser

vice

Specific IT Enablers

TMC’s Ramp

Meters

TMC’s Data

GIS Lane

Reversal

Data DataCADD

IT Goals

Data X X X X X

Shared Solutions

X X X X X

Access X X X X X

Service/Products

X X X X X

1.4 IT Executive Steering Committee

The Department has an executive management steering committee, called the Information Technology Management Committee (ITMC). The purpose of this committee is to ensure that IT is applied to meet the business needs of the Department, its customers and partners. The members are all Deputy Directors and representative District Directors, providing comprehensive executive representation of the various business organizations throughout the Department.

1.5 Electronic Government (EGOV) Strategy

The Department is developing and preparing to deploy systems that will allow construction firms to interact with the Division of Construction on construction

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management issues and to publish construction bid documents on the Internet that will provide construction contractors with the capacity to prepare and submit highway construction project bids electronically (eBID). The Department is also planning to deploy a new system for issuing permits for overweight/oversize trucks over the internet.

On October 27, 2006, Governor Arnold Schwarzenegger signed Executive Order S-21-06 establishing the California Broadband Initiative. The initiative mandates that Caltrans create a pilot database to link broadband providers with the Department to better coordinate fiber optic installation, leading to more consumer choice and efficient pricing.

1.6 Inter-Agency sharing of IT Projects and Resources

The Department has, for many years, been cooperatively processing data about accidents on the state highway system with the California Highway Patrol (CHP). The Department purchased GPS devices for the CHP to improve the accuracy of the location portion of this data, which will eliminate processing steps in both agencies.

The Department has created and maintains the Performance Based Measurement System (PBMS) for the Business, Transportation and Housing Agency that receives data from all the departments of the Agency. Additionally, the Department provides business analysis and programming support for the One-Stop Permit application process on via an interagency agreement with the California Film Commission.

Under the auspices of the Department of Finance, the Department has created and is continuing to enhance the Proposition 1B portion of the Bond Accountability Website. In addition to internal sources, this website will also draw upon data entered by various local agencies who are receiving funds from the Proposition 1B bonds.

1.7 Description of Service Level Agreements

The Department currently has one service level agreement with a state data center. The standard agreement (contract) is with the Department of Technology Services to obtain information technology services, materials or equipment:

Contract Start Date July 1, 2007Contract End Date June 30, 2008Annual Cost $5,525,000Description of Service To obtain information

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technology services, material or equipment

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1.8 IT Accessibility Standards

Caltrans IT maintains software that can connect with existing Departmental applications to assure compliance with Americans with Disabilities Act (ADA) requirements as needed, pursuant to the State Administrative Manual (SAM) Section 4833 and Section 508 Standard of the Rehabilitation Act of 1973, as amended (29 USC 749d). Additionally, by adopting the state web page standard template, accessibility via the Internet is assured of meeting ADA requirements.

2. Changes in Mission and Programs

The Department realizes the importance of aligning IT strategies with not only the overall mission and programs, but changes in the environment as well. While the Department’s mission remains the same: Improve Mobility Across California, fiscal, political, demographic and technological factors affect how the Department will accomplish its mission. This section provides an overview of factors affecting the Department’s current environment and challenges that may impact the Department’s information technology management capabilities.

2.1 Anticipated Changes in the Department’s Mission Requiring changes in IT

The transportation environment has changed significantly in recent years. While continuing in its role as owner/operator of the state’s 15,000-mile state highway system, the Department’s role in multi-modal transportation has expanded. Transportation improvements focus less on new highway construction and more on non-structural solutions. Congestion relief initiatives have become paramount, and complex issues such as land use, environmental standards, and the formation of partnerships between private industry and local, state and federal agencies are at the forefront.

In addition to managing the state transportation system, managing information about the transportation system has become an important Departmental function. As such, Department staff increasingly depend on information technology to capture, develop, share and provide information. Adequate access to the Department’s information technology resources -- such as the network, GIS, databases, CADD and Internet -- have become critical to accomplishing the Department’s business objectives.

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2.2 Emerging Threats and Opportunities

The evolving transportation environment in the State of California directly impacts the Department’s need for and use of information technology solutions. In a recent assessment of Departmental business objectives and technology drivers, the following key external issues were identified:

Increasing demand for transportation system mobility – The state population continues to increase while the Department has limited ability to construct new freeways. There is an increased focus on technological solutions to address traffic congestion and traveler delays, and to provide an overall increase in traveler throughput on the existing transportation system.

Need for effective collaboration with transportation partners – The Department’s need to work in partnership with local agencies, transit operators, and the private sector in the overall development and management of the transportation system continues to increase. Effective collaboration frequently includes sharing project and operations data, and joint implementation of transportation technologies.

Declining prospective revenues – The state’s immediate and potentially long-term fiscal situation resulting from the declining economy and the declining gas tax base due to more efficient automobiles has intensified the need for efficiency, accountability and budget management. Simultaneously, the state’s economic situation negatively impacts the Department’s ability to implement new technology solutions that could bring efficiency gains.

Growing security threat – As the Department’s use of technology grows, the increasing risk of external threats (e.g., hackers and terrorism) must be proactively addressed. The Department recognizes the fiscal impact of implementing security measures.

Rapid pace of technological change – Transportation partners push for new technology implementation. As the state’s transportation leader, the Department must balance the need for technology change with current fiscal realities.

The Department’s strategic technology direction proposes a series of strategies that address business objectives with consideration of the emerging external challenges listed above.

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3. Activities to Re-engineer Agency Business Processes

The Department recognizes the importance of reviewing existing business processes for opportunities to restructure or re-engineer operations. There are initiatives under way or recently completed within the Department that represent opportunities for improvements in efficiency, turnaround time, customer satisfaction and quality.

3.1 Current Activities

Integrated Financial Management System (IFMS) – In 2004, the Department completed an overall financial operations review to identify areas of inefficiency, and where inefficiencies could be improved by a combination of new processes and new systems, called the Caltrans Integration Study. The Study recommended a series of projects, collectively known as IFMS, which should be implemented to improve the Department’s financial data collection and reporting. A Feasibility Study Report (FSR) for the first of the IFMS projects, completing the infrastructure that will support all of them and the general accounting functionality (general ledger, accounts payable, accounts receivable, financial reporting) was approved January 2006 and a Request for Proposal (RFP) was issued December 2006. The intent of IFMS is to implement the business functionality of the selected system whenever possible, rather than modifying the system to fit into the Department’s existing processes.

IT ConsolidationMultiple studies by the Legislative Analysts Office, the Department’s IT Governance Project and the Business, Transportation and Housing Agency IT Efficiency Task Force, have made the following recommendations:

1. Centralize and organizationally unify IT resources to better coordinate IT resources to meet Department needs.

2. Establish an IT Governance process which includes strategic planning, operational planning and customer support.

3. Create a stable, transparent and dependable IT budget which will promote complete accountability for identifying, planning and delivering IT investments.

The Department has implemented the first and second recommendations. IT is focusing on the submission of a Budget Change Proposal (zero based) for the establishment of a unique Information Technology Program at Caltrans.

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Future approval of a BCP will allow the Department to fully implement consolidation and the above recommended actions.

IT Asset ManagementStarting in 2006 and continuing throughout 2007, IT has initiated a project to improve IT Asset Management. As initial steps toward compliance, IT has focused on three critical needs. First, all Departmental workstations have been reconfigured to ensure only authorized IT personnel are allowed to install software. Second, IT has established secure storage locations for all IT related media to prevent the loss, theft and unauthorized use of software, licenses and documentation. Lastly, IT has revised the IT disposal process to ensure all software and hardware assets shall be disposed of in an appropriate manner. Over the next year, IT will be developing , implementing, and maintaining specific plans, procedures, and processes to ensure compliance with all established State Software Management Plan requirements.

3.2 Areas for Future Re-engineering

Issues and needs for future re-engineering include:

Transformation of data into ‘information’ is not fully realized – the Department has a wealth of data; however, much of it is difficult to access, inconsistent, redundant, and lacks key integration points, such as geographic location or project identifier.

No overarching vision of Department business processes and data flows – Departmental business processes overlap organizational boundaries, yet IT solutions are typically scoped for specific needs within Divisions and Districts. As a result, promising Department-wide IT solutions are not always leveraged, and redundant or overlapping IT solutions are often developed.

Immediate need for more/improved financial management information for business and project management – Current financial information does not adequately meet the Department’s needs relative to supporting core business activities that span multiple business processes.

Need to align applications and technology solutions with the Department’s overall business processes – While several applications under development will serve the needs of staff across the Department, the development of a Department model of core business processes and data should be used to facilitate the alignment and integration of not only these solutions but all future technology solutions.

In response to these issues, as well as the clear need for an enterprise vision of the Department’s business processes and data, the Department’s strategic direction includes the development of a foundational business process and

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data model upon which the Department will plan for and make decisions about Department-wide application development.

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4. Current Information Technology Infrastructure

The Department’s IT environment supports over 22,320 employees who are located in approximately 600 business facilities throughout the State of California. The locations for these facilities range from large metropolitan cities, such as Oakland and Los Angeles, to more remote sites, such as the maintenance stations in the Sierra Nevada Mountains and the deserts of southern California. In addition to these business facilities, the Department has a need to maintain connectivity to over 40,000 field elements located on or adjacent to California’s transportation facilities. The field elements include process control devices that provide the count and classification of vehicles, ramp metering, electronic message boards, video cameras, and automated toll collection on California’s freeways and bridges. As a result, the Department’s IT environment indirectly supports everyone using California’s transportation infrastructure.

4.1 IT Organization Structure

The Department has approximately 650 staff in IT-classified positions. The staff is consolidated under a new organizational structure that is illustrated on page 21.

In addition to these IT positions, many non-IT classified staff within the Department perform IT-related duties. For example, as reported by the Legislative Analyst’s Office, there is non-IT classified staff in the Department working on communication systems engineering and developing standards for the intelligent transportation system. Primary information technology areas utilizing non-IT classified staff include Intelligent Transportation Systems -ITS (Planning and Research & Innovation Divisions), Geographic Information Systems - GIS (Transportation Systems Information Division), Traffic Management Centers - TMC (Traffic Operations Division), Radio Communications (Maintenance Division), and Computer Assisted Drafting and Design - CADD (Divisions of Engineering Services and Design).

Below are the functional descriptions of the IT Division’s core organizational structure.

IT Executive ManagementIT Executive Management provides the leadership to fulfill the Department’s governance principles. This involves directing the Information Technology Program and Divisions, and creating, resourcing and implementing the Department’s IT Strategic Plans and annual operating plan. Executive management works closely in collaboration with the directorate and control

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agencies in a cross-functional and cross-organizational manner, to ensure Caltrans’ IT policies are followed and that business and IT strategies are integrated.

IT Solutions DivisionBusiness Analysis: Provides Caltrans with business analysis services (defining business requirements and providing possible IT applications solutions), assists with Business Process, Feasibility Study, and Special Project Reports. Works with customers to establish the “external design” of custom applications and with “fit/gap” analysis of off-the-shelf solutions. Participates in system and integration test design and testing. Acts as the primary customer interface for applications issues.Custom Developed Solutions: The Custom Developed Solutions Branch is one of three application development and support branches within IT Solutions. The difference between the three groups has to do with the technical environments supported and used. The Custom Developed Solutions Branch develops and supports applications for which appropriate off-the-shelf products are not available. Includes Java applications support, Oracle development tools, Lotus Notes applications support and transitional applications support. Includes services for new solutions design. For production applications, investigates and resolves problems, works with customers to identify enhancements to improve existing business functions or adds new functions within the framework of the existing applications. Upgrades software products that form the foundation for custom applications to remain on supported versions of those products. Mainframe and Data Warehouse: Performs the same support duties for production applications as the Custom Developed Solutions Branch, but for applications developed to operate in mainframe environments (MVS and VM), using languages such as COBOL, RAMIS, REXX, etc. Performs production control processes for mainframe application programs, including Key Data Entry. Also develops and supports data warehouse applications using Oracle tools such as Discoverer. Designs and executes processes for populating the data warehouses from other sources, such as data files on the mainframe. Packaged Product Solutions: Provides administration and support services for vendor written “off-the-shelf” applications. Installs and configures the packaged applications, and customizes the behavior of the application using tools provided. Works with customers to determine new customization requirements. Receives, evaluates, tests and installs new versions of the products. Performs production support duties of the same kind as the Custom and Mainframe Branches. Database Administration: Provides capacity planning, database design and database production support and monitoring services. Establishes backup and recovery processes. Proactively analyzes database performance. Identifies, analyzes and resolves database performance issues. Upgrades, tests and installs new versions of database and database monitoring software, in order to stay current with the database software vendors.

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Web Support: Provides Internet and Intranet page design and hosting. Works with customers to develop new web pages and makes modifications to existing pages. Supports the Public Information Office in creating and maintaining the Department’s external Internet pages, available to the general public. Recommends tools to be used in web page development and maintenance.

Enterprise Architecture/Strategic DevelopmentTechnical Architecture: Provides technology direction needed to consolidate the use of IT resources and ensures that applications, data, integration, connectivity, processing and security technologies are provided for delivery of cost-effective business systems. Ensures Caltrans adopts IT standards in compliance with applicable state and federal regulations. Maintains a viable set of IT standards to assist those involved with procuring IT products or services, in making informed judgments when choosing IT products.Business Architecture: Provides a pathway for the Department’s business goals to impact IT systems requirements and addresses how the mission-critical functions of Caltrans will be supported by IT. Articulates the influences of the business Architecture regarding laws and regulations, external and internal policies, organizational structures, Departmental culture, business change, and technology drivers.Application Portfolio: Maintains a thorough inventory of existing software applications including their structures, interrelationships, application owner or developer, and underlying technologies. Recommends which applications should be maintained, integrated or eliminated. Portfolio management defines IT investment priorities and develops plans to align Caltrans applications with the Department’s needs and objectives. Data Dictionary: Maintains Departmental data model and information flows that identify and define information dependencies. Maintains a data dictionary repository describing IT-supported databases, definitions and representations of data elements including definitions, usernames, roles and privileges, database structure and space allocations. An active data dictionary assists in enterprise information resource management and system cataloging.

IT InfrastructureServer Management: Installs, maintains and supports servers and peripheral hardware that supports database management based applications, CADD and GIS applications, and Lotus Notes email and calendar services, file and print services. These services include storage, back up and recovery. Supports servers located in various Sacramento locations, as well as in the districts and in the Customer Owned Equipment Managed Services (COEMS) portion of the Department of Technology Services.Network Management: Provides network monitoring and support, including network design, configuration and capacity planning. Provides Wide Area Network (WAN) services and Local Area Network (LAN) services. Manages file and print services, and remote access capabilities. Provides technical

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support for the Department’s technology infrastructure, including office automation applications.IT Operational Support: Provides computer operations management, support of hardware (mainframes and servers) and peripheral network equipment (printers, scanners). Responsible for data center activities and monitoring, change control procedures, including system back ups, and controlled temperatures and network system testing schedules.Security: Ensures network security via patch administration and monitors intrusion detection, vulnerabilities, and malware activity. Coordinates and tests production release of software processes. Works with the Information Security Office to implement department security policies. Telecommunications Support: Responsible for the planning, development, implementation and operations of the Telecommunications Unit. Tasks include the technical support for the Department’s statewide video conferencing systems, cellular phones, pagers, blackberries, and land lines. Keeps abreast of federal, state and local laws governing the operation of all systems used by the Telecommunications Unit. Customer Service Liaisons: Provides information technology representatives to Caltrans Districts and Divisions. The Customer Liaisons communicate requirements between District customers and Headquarters with respect to the delivery and performance of clearly defined enterprise and program specific information technology services. Reports and promotes IT services to clients and stakeholders and communicates established Departmental IT standards. Service Desk: Provides enterprise wide customer service via receiving and assigning problem reports (tickets) and service requests. Includes incident management, prioritization, escalation processes and procedures for critical response needs. Monitors a help desk tracking system to produce reports on problems, resolutions and trends.Client Support: Offers customer support for desktop/workstation enterprise software imaging, hardware upgrades, deployment, security, and enterprise software/hardware administration.

IT Administration ServicesFinance: Collaborating directly with Caltrans Divisions of Budgets and Accounting, responsible for coordinating the development, implementation and monitoring of the IT Program budget. Contributes to the annual operating plan and helps control the budget with reports and recommendations regarding expenditures for planning and actual performance. Ensures accuracy of financial data. Includes tasks related to accounting, invoicing, purchasing, travel and coordination of travel expense claims.Human Resources: Collaborating directly with Caltrans Division of Human Resources (HR), responsible for the administration, coordination and implementation of Caltrans HR policies within the IT Program. Ensures State Personnel Board (SPB) and Department of Personnel Administration (DPA) policies and procedures are met. Acts as liaison between the Districts, HQ-IT

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and Caltrans HR for issues related to hiring, pay, classification and benefits. Includes coordination for general office supplies, safety issues coordination, and training activities.Facilities and Space Planning: Provides IT with facilities management activities and acts as liaison for space needs for IT within the Districts and at Headquarters.Asset Management: Maintains a documented listing of the hardware and software inventory for the Department, broken down by type, unit, and geographic location. Includes furniture, hardware, software, peripherals and mobile computing devices. This work includes the use/evaluation of automated/web-based tools.Purchasing/Contracting/Requests: Provides for the acquisition of IT commodities, administration of the CalCard program and the control and disposition of capitalized and sensitive property for the IT Program. Administers contracting activities for service contracts. Includes analysis of customer needs, acquiring quotes, developing purchasing documents in accordance with Department and State policy and Department standards.Software and Hardware Receiving: Works with Purchasing Section to track IT software and hardware orders through to receipt and ensures license inventory is recorded and up to date.

IT ProjectsProject Oversight and Policy: Provides oversight planning of IT activities. Ensures that IT projects comply with control agency requirements and Caltrans business processes. Establishes Departmental IT policies and procedures and conducts auditing activities to ensure compliance with appropriate industry standards.Project Management Office: Facilitates and supports the IT project planning and management process. Provides assistance on the development of feasibility study reports. Facilitates the project approval process. Acts as liaison to DOF/OTROS for IT projects. Develops and maintains procedures for the FSR process and the project management process. Develops and maintains templates and WBS for the same processes. Provides assistance to project managers on IT procurements, project management, and the creation and maintenance of project artifacts.Project Implementation: Manages large-scale IT projects for Caltrans. Ensures all projects have a project manager and follow established project management guidelines, defines roles and responsibilities for project participants and reports on project performance and status IT Certification: Reviews all IT commodities and services procurements to ensure that the purchase is authorized under an approved FSR or Special Project Report (SPR), that items to be purchased comply with Caltrans IT standards, and that any network items can be effectively integrated into the department’s infrastructure. Works closely with Caltrans Division of Procurement and Contracts (DPAC) and the Department of General Services.

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Strategic/Operational Plan Development: In collaboration with the other IT functions and partners, facilitates the development of the Department’s IT Strategic Plan, updates the Agency Information Management Strategy and ensures IT plans, policies and procedures are in place (including the Software Management Plan).

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Information Technology Organizational Structure

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4.2 IT Employee Experience and Skills Assessment

The employee experience and skills assessment for IT-classified positions is based on the State Personnel Board’s specifications for IT classifications and documented through the Annual Individual Development Plan process. As new assignments occur, an employee skills assessment and a gap analysis is conducted to determine the level of training that will be required to meet the skills requirement.

4.3 Technical Description of Current IT Infrastructure

Network and Telecommunications: The Department’s business and transportation facility communications needs are met through approximately 900 network devices that link the local and wide area networks. The wide area network (WAN) consists of a redundant ATM/Gig Ethernet backbone and supports over 500 frame relay circuits to service maintenance and construction sites as well as backup circuits for backbone. The Department’s IT staff and network provide access to a variety of business and engineering applications and databases, networked electronic mail, general file and print services, and data transfer using TCP/IP. The IT staff at many sites support both Ethernet, Frame Relay and ATM, with Ethernet switches providing the main interface between the WAN and the LAN. The network allows static IP addressing, DNS and DHCP services through servers for communication protocols. In addition, the Department is integrating video conferencing, which is currently supported at 40 locations, and streaming video to support both routine and emergency communications throughout the State. Telecommunications supports approximately 6,000 cellular telephones, 10,000 pagers, as well as traditional land line telephones and voice mail systems.

Remote and dialup access entry points within the Department’s network include the standard analog and Virtual Private Network (VPN) technologies. However, access methods and standards for the use of ADSL, DSL and cable modem digital technologies are being implemented to enhance telecommuting and access from remote locations. In order to allow desktop services from construction trailers and maintenance trucks on the roadway, the Department supports wireless connectivity via radio and satellite communications.

Network security is maintained at various levels, including firewalls, VPN and a network directory structure to facilitate a secure network environment. This network architecture has a scalable design to enable support for E-commerce, n-tier client server applications, and Internet portal technologies, while

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maintaining a secure environment. The Internet/Intranet environment includes over 22 corporate web servers, which are primarily running the Apache software suite product.

The Department maintains over 200 UNIX servers supporting databases, Internet/Intranet web applications, other program specific applications and email and calendar services. The supporting database software’s include Oracle, Informix and domino. Also supported are 15 UNIX and 9,000 Windows-based workstations for statewide CADD engineering including platform integration, plotting support and distribution of engineering applications across the state.

The Department has been consolidating servers as outlined in the WAN Infrastructure Project Feasibility Study Report, Project Number 2660-155.

Client authentication to file and print services is provided through Novell’s eDirectory. Presently 150 servers support these services as well as Identity Management. The Caltrans enterprise consists of a client base of 22,000 customers.

Network BandwidthNetwork Component Cabling/Line SpeedLANs Minimum Category 5

Fiber10/100 mbsgigabit

WAN Service provider inventory 56K through gigabitNetwork Operating SystemsLocation Network Operating System Latest VersionStatewide various Solaris

HP UnixNetwareIBM AUXSuse LinuxCisco IOS

9116.5

9/1012.0

Network Management Tools Component Hardware/Software Tool Location/Unit

Network and server CiscoWorks VariousMonitoring software 1 HP OpenView Various

Monitoring software WanDoc HQTraffic monitoring & shaping

NetQOS Statewide

Protocol Analyzer Sniffer Statewide

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Network ProtocolsProtocol Communication Component (i.e.

LAN, WAN, to external, etc.)Location/Unit/Org

TCP/IP ALL Enterprise WideSNA - SDLC/APPN WAN Enterprise WideATM WAN Enterprise WideFrame Relay WAN Enterprise WideIEEE 802.11A/B/G Wireless Enterprise WideGigaman WAN Enterprise WideEIGRP Routing Distribution/Access layerMPLS Routing CoreISIS Routing CoreeBGP Routing Connection to InternetiBGP Routing Edge of MPLS networkInternet/Intranet UsageAccess method Uses Location/Unit/OrgWAN connections To provide multiple access to

the Internet statewide.DTS – CSGNet/HQAT&T – HQAT&T – District 04XO Communications – DTS Level 3 Communications – District 08

Hardware Architecture: The Department follows the recommended standards from CSSI in the deployment of various hardware platforms, including:

MainframeMainframe TypeCICSVMPC WorkstationsWorkstation TypeIntel-based Desktops/Laptop/NotebooksUnix MacintoshServersServer TypeDatabase Servers Various – Sun/ HP/IBMApplication Servers Various – Sun/HP/IBMInternet Servers Various – Sun/HP/Dell/CompaqNetwork/File/Print Servers Various – Dell/HP/Compaq/IBM/SunOther Various – Apple/Cisco/SGI

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Software Architecture: The Department utilizes the following software for office automation and application development:

Office Automation SoftwareFunction Product DescriptionOffice Suite MS Office Microsoft Office is a family of products designed to

help complete common business tasks. Email & Calendaring

Lotus Notes Represents the E-Mail component for the department. Email, document sharing, scheduling, To-Do lists, and database capabilities.

Web-browser Internet Explorer

Used to access the Internet and portal based applications.

Network Operating System

Novell Represents the client/server component for Local area networks statewide.

Antivirus Software

VirusScan Used for networked and stand alone personal computers, and servers. Used to monitor, block and clean viruses.

3270 Terminal Emulator Software

PowerTerm Provides mainframe access which is needed for Time Reporting System (TRS).

Universal File Reader

Adobe Acrobat Reader

Used to read .PDF files.

Image Management Software

Zenworks Used to create and manage images for desktop and laptop computers.

Application Development SoftwareFunction Product DescriptionDesktop Database

MS AccessPersonal OracleMS FoxProFilemaker Pro

Used to develop local or desktop databases for tracking small to medium amounts of information.

Enterprise Database

OracleInformix VSAMMySQLSybase

Transitioning to the Oracle database, the enterprise database standard.

Commercial Off-the-Shelf (COTS) Applications

People SoftHansenFleet AnywherePeMS

Used for enterprise applications such as PeopleSoft for the Staff Central human resources system, Hansen for the Integrated Maintenance Management System (IMMS), and Fleet Anywhere to manage highway equipment maintenance and usage. The Department treats PeMS as a COTS application, since all maintenance is done by Berkeley Transportation Systems (BTS).

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Programming Languages

QUEO,COBOL,FOCUS, RAMIS, SAS, PL/SQL, C++, Lotus Script, REXX, PERL, CGI, Visual Basic, PHP, XML, Java

Languages that are used in current and future applications.

Programming Tools

Oracle Developer, JDeveloper & DesignerMS Visual Basic and Visual C++Sun Java Development Kit Intertest, Expediter

Tools that help develop web-based, client-server and mainframe applications.

Reporting Tools Oracle DiscovererCrystal ReportsBrio

Tools that build and deliver reports to users.

Web/Application Server-Related Software

IBM WebLogicTuxedoApacheSun IPlanetWindows Server/IIS

Software that helps deliver and operate web/intranet-based applications.

IT Project Management Tools

MS Project Information Technology has standardized on the MS Project tool.

Other Tools CA AllFusion Harvest Change Manager

Formerly known as CCC/Harvest. Harvest is a change and configuration management tool for application code, project documentation, etc.

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4.4 Strengths and Weaknesses of Current IT Infrastructure

A technical assessment of the strengths and weaknesses of the Department’s current IT infrastructure will result from the implementation of some of the IT Strategic Plan strategies, and will be documented in the IT infrastructure blueprints that will be created by the Enterprise Architecture Office. This office is charged with mapping the current IT infrastructure, developing a map of the planned architecture, and then finally developing a sequencing plan to prioritize and implement the missing elements.

Additionally, the IT Strategic Plan addresses a number of areas of the Department’s technology infrastructure that will be enhanced and improved over the coming years. While more details may be found in the Plan itself, the following list summarizes key aspects of the Department’s technology infrastructure that will be strengthened through the implementation of the Plan’s strategies.

Business solutions across multiple users: The Department plans to leverage solutions in such areas as workflow and document management and asset management across multiple users. While many such solutions are in place across the Department, the Plan includes steps to ensure that existing and new solutions are leveraged to ensure cost-effectiveness and consistency in the Department’s technical architecture.

Alignment of technology application solutions with the Department’s overall business processes: While several applications under development will serve the needs of staff across the Department, the development of a Department model of core business processes and data will facilitate the alignment of all future technology solutions.

Access to data and applications: Generally, the network infrastructure serves the needs of the Department staff quite well. However, telecom access in remote areas will be enhanced; network capacity will be augmented strategically as business needs change; and wireless access will be made available for targeted staff.

4.5 How IT Infrastructure Supports the Department’s Business Requirements

The Department works in partnership with a diverse constituency of regional and local agencies to develop and deliver transportation projects that receive federal and state funding. Funding commitments are established in the Federal Statewide Transportation Improvement Program (FSTIP), the State Transportation Improvement Program (STIP), and the State Highway Operation and Protection Program (SHOPP). In addition to IT Infrastructure that provides some of the direct technological elements mentioned previously

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(TMC’s, changeable message signs, GIS, CADD, ITS, etc.), the statewide transportation community is reliant upon IT systems to provide project data and communicate with each other.

At the detail level, the Department’s project managers must have access to actual expenditures in order to monitor project progress. For state highway projects, the Department uses project management plans as the main source of information for a project’s scope, schedule and cost. Because a typical state highway project extends over a long period, averaging seven years, implementing the plan ensures consistency as a project transitions through its life cycle. While the work plan contains many components, a key element is the Work Breakdown Structure (WBS), an enterprise-wide standardized list of project development tasks, as well as the functional resources assigned to perform the work. This information also needs to roll-up to the phase level in order for the regional planning entities [Metropolitan Planning Organizations (MPOs) and Transportation Regional Planning Agencies (TRPAs)] to monitor project costs against funding programmed or resources budgeted.

For non-state highway projects, over 800 local agencies track expenditures in their own internal systems. The format of this information varies by the nature of the local agencies’ internal systems and their own unique processes. Typically, local agencies submit expenditure information to the Department to be reimbursed with state or federal dollars for the expenditures. As the fiduciary agent for all state and federal dollars (i.e., the Department administers these funds directly for the state, as well as local agencies), the Department is responsible for tracking expenditures.

Senate Bill (SB) 45 transferred significant state-funded project programming responsibilities to local agencies, with “timely use of funds” constraints attached. Later, Assembly Bill (AB) 1012 added, “use it or lose it” constraints on local agencies’ timely obligating of federal funds. Both of these actions have created a tremendous business need to provide more data more widely and more timely. All stakeholders must have access to financial information to monitor the financial status and perform cash flow analysis on a project-by-project basis, and be able to aggregate the information by funding program.At any point in time, the Department’s staff is actively engaged in the management and development of approximately 2,500 to 3,000 projects. Concurrently, over 5,000 local agency administered projects are taking place. The data challenges to meet these business needs are tremendous. Additionally, as a steward of public resources, information systems must support more efficient use of funds, and improved product delivery, which will require improved integration of data and development of useful, timely information for management decisions.

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4.6 Description of Mission Critical Applications from the Department’s Operational Recovery Plan (ORP)

The following applications have been identified as high-priority or mission-critical. The high-priority applications were not prioritized. When the ORP revision is complete, the list of Departmental mission critical applications may be revised and priorities established.

Advanced Transportation Management System (ATMS) California Highway Information Network (CHIN) Lane Closure System (LCS) Bay Area Incident Management System (BAIRS) Integrated Maintenance Management System (IMMS) Transportation Accounting Management System (TRAMS) Staff Central (Caltrans implementation of PeopleSoft HR) Construction Administration System (CAS) Bid Opening System (BID) Caltrans Accounts Payable System (CAPS) Revolving Fund System (RFS) Transportation System Network (TSN) Computer-Aided Design and Drafting (CADD) Geographic Information Systems (GIS) Lotus Notes (email & calendar system)

4.7 Description and Plans for Security

Information security is an increasingly important aspect of the information technology environment at the Department. Information security consists of the policies, procedures and actions taken to prevent unauthorized access to data and the misuse of the Department’s computer resources. Information security prevents the unauthorized modification, deletion or transmission of protected data and ensures the ability to recover system servers and data in the event of a disaster or major incident.

Information Security Policy: Listed below are the different types and levels of information security at the Department. Physical Security: All network and enterprise application hardware and

software is secured behind a firewall within a locked server room at HQ-IT, a District computer room or at the Department of Technology Services data center. Access to the HQ-IT server room is monitored and limited to authorized staff through the use of an electronic key card. All employees of the Department are required to have a key card and an identification card for access into any Department building.

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Application Level Security: IT strictly controls administrative rights to the WAN, LANs, and applications, with administrative logon-ids and passwords known only by authorized staff within IT. IT manages administrative passwords and requires changes to them on a monthly basis. At the user level, the software application controls read, update, and delete capabilities via a user logon-id and password. The user id is specific to the user and passwords are required to be changed monthly.

Encryption: The Department of Finance Budget Letter 05-32, dated November 14, 2005, requires the encryption of State data that is confidential, sensitive or personal when stored on portable computing devices and/or portable electronic storage media. This new policy is codified in the State Administrative Manual (SAM) at sections 4841.2 through 4841.7. The policy is communicated to all Department employees via Deputy Directive number DD-89, Security of Portable Computing Devices and Portable Electronic Storage Media, June 2006.

Authorization: Only the database administrators or authorized designee may alter the system security tables.

Firewall: Multiple firewalls protect the WAN from unauthorized access via the Internet as well as servers placed in the Departments DMZ’s. The Department staff have access to system resources through the WAN, inside the firewall.

Audits: HQ-IT conducts periodic security audits of the WAN and LANs. HQ-IT performed a full security assessment of District 7 in June of 2003. SBC completed a full audit of the Wide Area Network in September 2004. IT continues to improve and refresh security technology by addressing spy ware protection, intrusion detection and remote access..

4.8 Description of IT Standards UtilizedThe Department has implemented an enterprise-wide IT standards management process for the timely development, adoption, migration, implementation, communication, enforcement and retirement of Departmental IT standards, which is being streamlined as part of continuous improvement effort. The Core IT Standards Group and Enterprise Standards Board are responsible for the development and maintenance of IT standards. The California Strategic Sourcing Initiative (CSSI) provides the contract specifications for the development of the Department’s IT standards.

Desktop Workstation Standards and RecommendationsComponent Minimum StandardDisk Configuration 20GB 7200RPM 512kCPU’s Intel® Pentium® 4 Processor 2.0GHzNetwork Interface Cards Integrated Intel® 10/100 Ethernet AdapterVideo 32MB Matrox G550Minimum RAM 512B DDR Preferred Manufacturers(s) CSSI Contract Vendors

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Desktop Workstation Standards and RecommendationsComponent Minimum StandardAdditional Hardware 3.5" 1.44MB diskette drive

24x/10x/40x Recordable Rewriteable CDRW/DVDIntegrated Sound Blaster compatible audioMini-tower or Desktop Case104+ keyboard and Microsoft 2-button Scroll Mouse3 PCI and 1 AGP expansion slots(6) USB ports, (2) Serial Port, (1) Parallel Port

Monitor CSSI contract vendor with analog/digital LCD or plasma monitor up to 26 inches may be procured (see CSSI).The procurement of LCD or plasma monitors is strongly encouraged as they consume up to 60% less energy than the traditional CRT monitor does.

Network Printers CSSI vendor is our standard printer manufacturer. The manufacturer should make extra RAM available. This RAM is used for large format printing. All printers must be NDS compatible. HP printers are NDS compatible.

Personal Printers CSSI printer manufacturer. The manufacturer should make extra RAM available.

Application, Database and Web Server Standards and RecommendationsApplication Server Type HardwareEnterprise Servers for Local Area Networks & File & Print Services

Minimum 512 Mb RAM Preferred Manufacturers: IBM Netfinity, HP NetServer, Dell, and Compaq Proliant.

Enterprise Application Servers Preferred Manufacturers: HP, Sun(The server manufacturer’s RAM is required.)

Enterprise Web Servers Preferred Manufacturers: SunEnterprise Internet/Intranet Application Database Servers

Preferred Manufacturers: Sun

Streaming Video Servers Preferred Manufacturers: SunEnterprise Servers for Lotus Notes Preferred Manufacturers: SunWAN/LAN Hardware Standards and RecommendationsComponent StandardRouters CiscoSwitches (LAN / WAN) CiscoBridges CiscoBackup Hardware for 100G or Less Quantum ATL M2500 tape library for Novell

HP Surestore AutochangersBackup Hardware for Large Facilities

Sun tape library for UnixStorageTek library for UnixHewlett Packard tape library for Unix

Print Server Hardware HP Jet Direct CardsDial In Hardware (WAN) Cisco

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Laptops/Notebooks Standards and RecommendationsMinimum Specifications

Processor: Intel®Pentium® Memory: 512MB Operating System: Microsoft® Windows XP Professional Hard Drive: 40GB DVD/CD-ROM Drive: 10x Floppy Disk Drive: 3.5" 1.44MB diskette drive Modem: 56K Network Interface card: 10/100 Ethernet Adapter Display: 14.1” TFT 1024x768 Cable Locks CompuTrace Complete - Recommended

Personal Digital Assistant (PDA) Standards and RecommendationsConforming Vendor Products

Blackberry RIM – any model that meets specs

Video Teleconferencing Standards and RecommendationsH.323 (a suite of standards) Polycom FX H.323 Viewstation Series C19 system

Visual Concert FX pod, for VGA display, application sharingNEC MP 50” Plasma Display., 1280x1024 w/PIPDocument Cameras Canon RE-350L8 Watt Plasma speakers for NEC MP 50” Plasma Display

Conferencing Between 3 or More Endpoints

Current Standard:First Virtual Communications CuseeMe 6.0

Software Standards: Below are the current Department IT software standards:

Standards for Application DevelopmentType of Software StandardScripting/Programming Languages Java, JavaScript, PL/SQL, C++, Visual Basic, PERL,

PHPDevelopment and Reporting Oracle JDeveloper9i, Developer 6i, Designer 6I,

Discoverer, MS Visual Basic, MS Visual C++, Sun Java SDK, Crystal Report Writer

Testing Mercury Interactive WinRunnerMercury Interactive TestDirectorMercury Interactive LoadRunner

Enterprise Database OracleWorkgroup/Personal Database Access, Personal Oracle, MS FoxPro, FileMaker Pro

Commercial Off-the-Shelf (COTS) People Soft, Hansen, Fleet Anywhere, PeMSChange and Configuration Management

Computer Associates (CA) AllFusion Harvest Change Manager

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IT Project Management MS ProjectData Dictionary Computer Associates Advantage Repository,

Telelogic System ArchitectStandard Software for WorkstationsType of Software Standard Desktop & Portable Workstation Operating Systems

Microsoft Windows 2000Microsoft Windows XP

Network Software Connectivity for Workstations

Novell Client

Desktop Office Automation Suite Microsoft Office Professional (includes Word, Excel, PowerPoint, and Access) or the Office Standard (without Access)

3270 Mainframe Emulation Ericom Powerterm Interconnect E-Mail Lotus NotesInternet Browser Internet ExplorerAnti-Virus Software Network Associates (McAfee) VirusScanHard Drive Defragmenter Executive Software DISKEEPERDesktop Video Player RealPlayer

Windows Media PlayerApple QuickTime Reader

Project Management Software Microsoft Project (For Non-Engineering purposes)Primavera

Graphics/Multimedia Adobe PhotoShopDigital Video Graphics Adobe PremiereGraphics for print & web Adobe Illustrator Web Authoring Macromedia DreamweaverElectronic Forms Form Flow FillerPDF Viewer Adobe ReaderPDF Writer Adobe Acrobat Drawing Deneba Canvas Diagramming Tool Microsoft VisioEngineering Drawing MicrostationEngineering Roadway Design Software

CaiCE (migrating to InRoads)IGrds

Plotting Software IplotNetwork Access Tool for NTFS HummingbirdGIS (Geographical Information System for EC/GW only)

Arcinfo & ArcView

Utility to Compress/Decompress files

WinZip

Standard Software for ServersServer Type Standard Enterprise Servers for Local Area Networks & File & Print Services

Novell File and Print Services & Novell Directory Services (NDS) provided from Novell

Enterprise Application Servers HP-UXSun Solaris

Enterprise Web Servers Sun Solaris 9

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Enterprise Internet/Intranet Application Database Servers

Solaris 9

Streaming Media Servers Sun Solaris 9RealNetworks Real Server

Enterprise Servers forLotus Notes

Sun Solaris 9

Standard Software for the Department’s Networks (WAN/LAN)Type of Software StandardsNetwork Directory Services Novell eDirectory

Lightweight Directory Access Protocol (LDAP) File & Print Server Software Novell NetWarePrint Server Management Software HP Jet Admin3270 Printing through Novell Novell Host PrintAnti-Virus Software Network Associates (McAfee) Netshield Dial In Software for Servers Novell Border Manager Authentication ServicesDial In Software for Desktops, Laptops & Engineering CADD/GIS Workstations (EC/GW)

Windows 2000 Dial up NetworkingWindows XP Dial up Networking

3270 Gateways & Controllers NetWare for SAASoftware Distribution Novell ZENworksBackup Software Veritas Net Backup

Veritas Backup Exec for NetWare server

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4.9 IT Asset Management Program

Historically, the Department’s IT Asset Management Program has been managed as a component of the departmental property control management program, under the overall responsibility of the Division of Procurement and Contracts (DPAC), part of the Department’s Administration directorate. This program has been primarily concerned with physical IT assets, i.e. computer hardware.

On January 19, 2007, Caltrans Audits and Investigations Division submitted Draft Audit Report #P3020-066, Software Management Program Compliance Audit. The audit stated that the Department is not in compliance with the Software Management Policy reporting requirements, as required by State Administrative Manual (SAM) Section 4846-4846.2, and the Statewide Information Management Manual (SIMM) Section 120.

A project team was formed to address these areas of non-compliance and a Project Charter was drafted in March of 2007. The IT Asset Management Project tasks began shortly after and are scheduled to complete in February 2008.

The primary objective of the IT Asset Management Project is to ensure the Department is in compliance with the California Software Management Policy. Secondary objectives of the project include:

Establish an IT Asset Management Program with documented policies, processes, and procedures.

Remediate and prevent the usage of illegal and unauthorized software. Establish a secure asset repository. Document the physical inventory of department-wide hardware and

software.

The following items will be addressed during the IT Asset Management Project:

IT hardware and software inventories. Software remediation (including the removal of unauthorized software). Software repository. IT Asset Management Program policies, processes, and procedures for:

- Administrative rights- Software repository- Asset receipt, installation, and change control - Asset disposal- Corrective action- Contractor certification- Desktop technology standards

Software Management Education Program.

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Supported software list. Compliance reporting.

Successful completion of the IT Asset Management Project will yield the following outcomes:

Compliance with the California Software Management Policy. Establishment of an IT Asset Management Program with documented

policies, processes, and procedures. Documented inventory of department-wide hardware and software. Remediation and prevention of illegal and unauthorized software usage. Establishment of a secure asset repository. Establishment of an Asset Disposal process.

The fully realized IT Asset Management Program will yield the following benefits:

Improved fiscal accountability. Strengthened IT leadership. Improved customer service. Improved integration and security of systems. The further development of a single IT organization within Caltrans. Improved IT operations through increased standardizations.

4.10 Adherence to the Software Management Policy (SMP)

Software Assets are managed as stated in the annual Software Management Plan, which was updated January 31, 2007. Please note that the activities detailed in Section 4.9 above encompass activities that will bring the Department into full SMP compliance.

4.11 Plans for Intra-agency Sharing of IT Projects/Resources

PRSM (Project Resources and Schedule Management): The PRSM system will capture information about the Department’s Capital Outlay Projects and the work performed on them. The details of the work performed will, on a weekly basis, be sent from PRSM to Staff Central so that employee time worked is properly recorded and accounted for.

IFMS (Integrated Financial Management System): The IFMS system, when fully developed, will interface with many of the Department’s other systems, including: PRSM, eBID, CMS, Staff Central and the IT Service Desk.

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4.12 Server Consolidation Strategy

Headquarters IT is pursuing a strategy of consolidating servers within the Department to reduce situations where individual Programs and Districts have stand alone operations. The number of servers supporting the Department’s statewide File and Print infrastructure was reduced by 36% during the past year. The Department will eliminate additional existing servers by combining workloads and services over the next few years.

5. New Information Technologies

5.1 Potential of New/Emerging IT to Enable Business Strategies

The Department finds that IT is an indispensable tool for the rapid and efficient handling of data, records, communication, transactions, and for assisting decision makers in carrying out the Department’s business processes and responsibilities. Since advances in IT such as automated office systems, personal computers, electronic mail, telecommunications, and others, have the potential to increase the productivity, efficiency, and responsiveness of the Department’s operations in its mission to improve mobility across California, they are key enablers of the Department’s business strategies.

The Department’s current computing environment, like ones in other governmental offices and the private sector, is undergoing change. There is an ongoing effort to position the Department to receive maximum value from the total investment in technology (hardware, software, people, training, space, etc.). An underlying common principle driving governmental and corporate interest in computing usage is the recognition that IT is essential to supporting critical program and business needs.

5.2 Goals/Priorities for Acquisition of New IT Capabilities

The Department is taking major steps toward the effective management of its IT environment. The IT architectural framework links the Department’s mission and business objectives to the applications that are deployed. Standards, methodologies and best practices guide the development of these applications and the processes related to their implementation. The Department’s IT strategies grow out of its IT goals. Both provide measurements that can be used to gauge progress. Other factors, such as

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the establishment of the CSSI and the internal consolidation of IT resources will aid in the success of these efforts as well.

Within the IT architecture, direction for priorities comes from the Departmental IT Strategic Plan. The IT Strategic Plan is business-driven, identifying specific strategies on how technology will be utilized in the coming year and identifies potential technologies and infrastructure enhancements.

6. Planned Information Technology Infrastructure

6.1 IT Infrastructure to Support the Department’s Information Requirements/Business Strategies

See IT Infrastructure under section 4.5.

6.2 Skills Assessment to Successfully Employ New and Evolving Strategies

Headquarters IT developed a tool, the “Training Needs Assessment Data Collection Form,” that is used to assess the skills of IT staff. The tool identifies typical tasks assigned to IT employees working in specific functional areas, as well as the skill set needed to perform the tasks (for example, desktop support, network server support, applications development, etc.). By comparing the skill set required to the skill set of the employee, the supervisor is able to recommend training for their employees to bring them up to the skill set required.

7. Information Management Priorities, Objectives, Resources

This section provides summary information regarding the Department’s approved information technology projects. The projects listed in the table below are those that have been approved by the Department’s Information Technology Management Committee.

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7.1 List of Current IT Projects

Approved Projects Project Name DescriptionTransportation Permits Management System (TPMS)

(Traffic Operations) The Department‘s Transportation Permits Branch has received considerable criticism regarding preventable incidents involving permitted oversize/overweight trucks. Specifically, human errors have resulted in dozens of collisions with bridges, and at least one fatality. The Transportation Permits Management System is a computer system that will eliminate human errors in the transportation permit process. It will also allow transportation permit applicants to apply for, receive, and pay for permits through the Internet.

Project Resources and Schedule Management (PRSM)

(Capital Outlay) Replaces the legacy-scheduling program (XPM) with a COTS Enterprise Project Management System that will integrate planned and actual resource usage for all projects in the Department’s Capital Program. The system will provide the ability to identify and manage resource bottlenecks and improve the Department’s ability to meet operating and reporting requirements of SB45, while relying on the industry leaders to provide a “best value” solution based on the business needs of the Department.

Freeway Performance Measurement System (PeMS)

(Traffic Operations) PeMS is a system management tool that indicates what is happening on the state’s freeways by collecting detector data and providing performance reports about traffic volumes, speeds, travel times, and highway system reliability. It also forms the basis for additional analysis by Planners and Engineers to improve system performance.

Virtual Traffic Monitoring Stations (VTMS)

(Traffic Operations) VTMS is investigating alternatives to the traditional in ground loop detectors for vehicle speed and count information. The proposed solution will procure vehicle speed and count data from a private vendor at priority locations where additional traffic monitoring stations are currently planned or programmed. The traffic data will be available in real-time for use by the Department in system monitoring, traffic control, performance measurement, and traveler information. The objectives for this project are to improve data availability, to lower the cost of implementation, and to reduce the cost of maintenance.

Roadway Design Software (RDS)

(Design) Replaces unsupported CAISE software with newer (supported) software.

Caltrans Automated Transportation Management System (CATMS)

(Traffic Operations) Creates standard statewide Transportation Management System and implements in all 12 districts.

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Approved Projects D8 Inland Empire Transportation Management Center (D8-IETMC)

(Traffic Operations) Construction of a District 8 Transportation Management Center.

Integrated Financial Management System (IFMS)

(Administration) Creates an integrated, enterprise-wide financial system to satisfy business needs and opportunities for system and process improvement. The Caltrans Integration Study (CIS) identified the need for FSRs for improved maintenance and operations activities and for the development of new systems.

Construction Management System (CMS)

(Construction) Creates a system to provide greater access to construction payment data for an electronic daily diary and allow contractors to enter all forms for contract and project information on-line via the Internet.

Bulk Fuel System (BFS) (Maintenance) Creates a solution that will provide the Department with a single interface to view and manage all bulk fuel resources and related data. The system will monitor fuel tank levels, authorize and record fuel disbursements, reconcile fuel delivery and usage, provide billable disbursements for Accounting, provide off-road fuel usage for accounting fuel tax abatements, support fleet management through vehicle fuel and meter data and will provide bulk fuel reports.

Virtual Traffic Monitoring Stations

(Traffic Operations) VTMS are composed of a collection of interoperating software applications which assist traffic operations personnel with the management of freeway operations.

Web Base Service and Supply System (WSVS)

(DPAC) Develops a web-based service and supply system that will be deployed statewide to replace the outdated and unsupported stock program as the front end to the Service and Supply Material’s Management System.

Adopt a Highway (AAH) (Maintenance) IT Supports the Caltrans Adopt-A-Highway Program which provides an avenue for individuals, organizations, or businesses to help maintain sections of roadside within California's State Highway System. Groups have the option to participate as volunteers or to hire a maintenance service provider to perform the work on their behalf.

Construction Independent Assurance System (CIA)

(Construction) Replaces the various, independent data logging systems in the Districts with an automated statewide reporting system.

Director’s Office Tracking System (CDTS)

(Enterprise-wide) CDTS will replace the current Director’s Office Tracking System (Lotus Notes).

Central Valley Spatial Reference Network (CVSRN)

(Right of Way) The CVSRN is a project that will be comprised of Global Positioning System (GPS) stations that are permanently in place and operate continuously. The data fro this network will e used for the post processing as well as instantaneous real time positioning.

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Approved Projects Project Agreement Construction Tool (PACT) Aka: Hot Docs

(Design) PACT is a server-based, interactive interview that guides a Project Development Team through the minimum number of questions needed to assemble a pre-approved cooperative agreement. The effect is similar to the TurboTax model in which the answers to each question trigger additional questions or generate stand pre-approved articles in the final document.

Encroachment Permits Management System (EPMS) (Traffic Operations) The use of California State highways for

other than normal transportation purposes may require written authorization from the Department of Transportation. As the responsible Department for protecting the public's investment in the State highway system, Caltrans reviews all requests from utility companies, developers, volunteers, nonprofit organizations, etc., desiring to conduct various activities within the right of way. Such activities could include for example: construction of highway improvements, driveway installation and maintenance, highway landscaping and graffiti removal, commercial filming, special events such as parades commemorating an event, e.g. Independence Day.

Bond Accountability Website (BAW)

(BTH) The Bond Accountability Act requires implementing agencies to report forecasted costs against committed (approved) costs. IT is creating an Interactive website that will allow for data collection. Local partners will log into a secure website to input project status information.

Travel Information Map Implementation (TIMI)

(Traffic Operations) Provides travel information for inter-regional travel to the traveling public.

Traffic Investigation Report Tracking Systems (TIRTS)

(Traffic Operations) Traffic Investigation Report Tracking System (TIRTS) is an integrated module within the Transportation System Network (TSN) to document and report on Traffic Investigations statewide. The program standardizes all Traffic Investigation Report (TIR) forms and provides electronic coversheets for TIRs. It tracks electronically investigations and investigation recommendations.

7.2 List of Proposed IT Projects

The following list is approved IT project concepts that are scheduled to submit Feasibility Study Reports.

Approved Project Concepts for FSR DevelopmentConcept Project Name DescriptionDocument Management System (DMS)

Investigate the efficacy of a standard statewide electronic document assembly, document management and workflow tool.

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Approved Project Concepts for FSR DevelopmentResearch Project Management Database (RPMD)

(Research & Innovation) This database replaces R&D (Research and Development.) The database is used to maintain all approved DRI tasks.

Traffic Management Center Activity Logging (TMCAL)

(Traffic Operations) Converts the diverse database systems in use to a web-based Java system with an Oracle database. It will run on an enterprise server and be accessible statewide through a browser.

Proposition 1B Web Site (PWS)

(Enterprise-wide) Creates a website for use by internal sources, and draws upon data entered by various local agencies that are receiving funds from the Proposition 1B bonds.

7.3 Intended Use of, and Justification for, External Application Service Providers (ASP)

Airport IQ w/GCR was recently purchased for the Division of Aeronautics.

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